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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Beth? Claim Your ProfileBeth Ann K Sparks is a financial advisor currently working for Raymond James & Associates, Inc. with offices in Dublin, Ohio. Beth has worked as a financial advisor since 1987 and has a strong track record of success in the industry. Beth is licensed in several states and holds multiple licenses and designations, including Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65. Beth is also a registered investment advisor in Ohio and Texas. Beth is committed to providing her clients with personalized financial advice and guidance. She is dedicated to helping her clients achieve their financial goals, whether it is saving for retirement, planning for college, or protecting their assets.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
09/10/2007 - Present
Raymond James & Associates, Inc. (Dublin OH)
OH
07/24/1998 - 09/08/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
09/24/1987 - 07/31/1998
FIFTH THIRD/THE OHIO COMPANY (CINCINNATI OH)
IA
Issued 11/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/20/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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